Services for Plan Sponsors & Advisors

As the CPA for your 401(k), we are a certified public accounting firm specializing solely in 401(k) plan audits, also known as ERISA, retirement plan, or employee benefit plan audits. Typically, plans comprising more than 100 participants with balances in their 401(k) plans require an audit.

Our singular focus on benefit plan audits gives us unmatched depth and detail of skill and experience, so you can expect the fastest, most accurate, most affordable audit possible.


Our Approach

A streamlined process honed over years of experience.

Leveraging technology and our deep knowledge base, we’ve optimized the audit process for maximum efficiency with minimum disruption to your business. Our organizational structure eliminates excess approval layers while elevating each team member’s sense of responsibility, so they handle your audit like an owner.

We liaise directly with your benefit plan providers to get the data and documents required so you don’t have to. We work with plan sponsors, third-party administrators (TPAs), record keepers, advisors, and more. Each audit can be performed virtually or on-site, depending on client’s preference and geographical location, boosting the speed and ease of communication and coordination.

An unmatched level of skill and expertise.

Our team members bring decades of combined experience, delivering big-firm expertise with small-firm service. Besides their detailed audit knowledge, each team member brings complementary skills in finance, accounting, taxes, investments, compliance, research, and internal and quality controls—from across industries. 

Experts in regulatory nuance, we stay ahead of the curve on changes in policy and procedure. But don’t take our word for it: when reviewed by our peers, we exceed professional quality and continuing education standards.

A dedicated auditor, so you see the same friendly faces every year.

We focus on long-term relationships, not industry or location. Earning us a reputation as “friendly auditors,” our high-touch process and in-depth expertise allow us to be industry neutral and serve plan sponsors and advisors wherever they’re based in the 50 states.

Partnering with the same auditor each year means less work for you and your staff because they are already familiar with your company, processes, and people.

Ready to upgrade your 401(k) audit experience? Contact us today


What makes 401(k) plan audits so complicated?

Employee benefit plans are subject to regulation by the Internal Revenue Service (IRS) via the Employee Retirement Income Security Act (ERISA) and the U.S. Department of Labor (DOL). Any good auditor needs to deeply understand the nuances of these regulations, how they interact, and be up-to-date on the latest policy changes. In addition, benefit plan audits must comply with the guidelines set forth by Generally Accepted Auditing Standards as issued by the Financial Accounting Standards Board (FASB).

We provide the objective, independent perspective required, with decades of shared audit and accounting experience. 401(k) and profit-sharing plan audits typically test or review: 

  • Internal Controls
  • Compliance
  • Plan Documents
  • Participant Data
  • Identification of Prohibited Transactions 
  • Fiduciary Responsibilities 
  • Contribution Limits 
  • Distributions 
  • Rollovers 
  • Procedures and Findings 
  • Plan Administrator Responsibilities 
  • Plan Asset Verification


Why not let our tax or corporate accountant handle our 401(k) audit? 

It seems more straightforward: one less provider. We love simplicity, too, so we understand why this question comes up. Entrusting your audit to a specialized firm is advantageous for several reasons.

Unlike a general firm that spreads its competence across all things accounting, our expertise is laser-focused so that you can be confident of the highest levels of accuracy and quality.

Also, with many big firms, you may work with the same company each year but get different people each time, who you need to train on your processes and controls—a costly burden on your time.  

We highly recommend working with any firm of your choice for other accounting services and happily partner with your small- to big-sized accounting firm in leading your audit. However, 401(k) audits are a complex procedure best left to advanced experts.

Schedule a consultation regarding your 401(k) audit today.